ASX Operating Rules, Guidance Notes and waivers

Rules

Below you will find a list of sections which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772

 

Description
ASX Operating Rules Section 01 - Access to the Market (PDF 62KB)
ASX Operating Rules Section 02 - Products (PDF 60KB)
ASX Operating Rules Section 03 - Trading Rules (PDF 87KB)
ASX Operating Rules Section 04 - Execution, Quote Display and Reporting Services (PDF 87KB)
ASX Operating Rules Section 05 - Monitoring Conduct and Enforcing Compliance (PDF 57KB)
ASX Operating Rules Section 06 - General Rules (PDF 65KB)
ASX Operating Rules Section 07 - Definitions and Interpretation (PDF 130KB)
ASX Operating Rules Section 08 - Transitional Provisions (PDF 62KB)
ASX Operating Rules Schedules (PDF 631KB)
ASX Operating Rules Procedures (PDF 481KB)
ASX Operating Rules Procedures Appendices (PDF 350KB)
Rules Comparison Table (PDF 829KB) 

 

Guidance Notes

Below you will find a list of the Guidance Notes in relation to the ASX Market Rules. They are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772.

As a consequence of the transfer of certain supervisory powers to ASIC in August 2010, the Guidance Notes marked * and corresponding rules are overseen by ASIC. The remaining Guidance Notes continue to be overseen by ASX. 

  Description
ASX Guidance Note 1 - Prevention of Manipulative Trading
  ASX Guidance Note 2 - Record of Action Announcement 
* ASX Guidance Note 3 - Reporting to Clients - Confirmations
* ASX Guidance Note 4 - New Clients
* ASX Guidance Note 5 - New Clients - Electronic Client Agreements
* ASX Guidance Note 6 - Management Requirements
* ASX Guidance Note 7 - Management Requirements - Good Fame & Character
* ASX Guidance Note 8 - Insurance Requirements
  ASX Guidance Note 9 - Expiry of Unexercised Deliverable Warrants
* ASX Guidance Note 11 - Client Order Priority
* ASX Guidance Note 12 - Client Money & Property - Client Funds
* ASX Guidance Note 13 - Prohibition of Advice to Clients
  ASX Guidance Note 15 - Waivers of ASX Market Rules - Participants
  ASX Guidance Note 17 - Spread of Warrant Holders
* ASX Guidance Note 19 - Automated Order Processing - Certification
* ASX Guidance Note 21 - Automated Order Processing - Authorised Persons
* ASX Guidance Note 22 - Automated Order Processing - Operational Requirements
* ASX Guidance Note 23 - New Clients or Clients Trading
  ASX Guidance Note 25 - Monitoring Compliance - Investigations
  ASX Guidance Note 26 - ASX Approach to Privacy Laws
* ASX Guidance Note 27 - Ongoing Compliance and Supervision 
* ASX Guidance Note 29 - Managed Discretionary Accounts
* ASX Guidance Note 31 - Client Agreements - Requirements
  ASX Guidance Note 32 - Bulk Authorisation of Index Arbitrage Orders
* ASX Guidance Note 33 - Trading Records
  ASX Guidance Note 35 - Notification of Regulatory Action
  ASX Guidance Note 36 - End-Clients Using Margined Financial Products - Risks For Participants
  ASX Guidance Note 37 - Maintenance of an Orderly Market When Closing Out Settlement Failures

 

Waivers

Waivers are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

 

Month ASX Operating Rules
All Warrant & AQUA
Product Issuer
May 16-31, 2013  PDF (133KB)  PDF (133KB) 
May 01-15, 2013  PDF (133KB)  PDF (133KB) 
April 16-30, 2013  PDF (133KB)  PDF (133KB) 
April 01-15, 2013  PDF (133KB)  PDF (199KB) 
March 16-31, 2013  PDF (133KB)  PDF (196KB) 
March 01-15, 2013  PDF (133KB)  PDF (133KB) 
February 16-28, 2013  PDF (133KB)  PDF (133KB) 
February 01-15, 2013  PDF (133KB)  PDF (133KB) 
January 16-31, 2013  PDF (133KB)  PDF (133KB) 
January 01-15, 2013  PDF (133KB)  PDF (133KB 
December 16-31, 2012  PDF (133KB)  PDF (133KB) 
December 01-15, 2012  PDF (133KB)  PDF (133KB) 
November 16-30, 2012  PDF (133KB)  PDF (133KB) 
November 01-15, 2012  PDF (133KB)  PDF (133KB) 
October 16-31, 2012  PDF (318KB)  PDF (133KB) 
October 01-15, 2012  PDF (133KB)  PDF (133KB) 
September 16-30, 2012  PDF (133KB)  PDF (133KB) 
September 01-15, 2012  PDF (133KB)  PDF (133KB) 
August 16-31, 2012  PDF (133KB)  PDF (133KB) 
August 01-15, 2012  PDF (133KB)  PDF (133KB) 
July 16-31, 2012  PDF (143KB) PDF (133KB) 
July 01-15, 2012  PDF (133KB)  PDF (133KB) 
June 16-30, 2012  PDF (133KB)  PDF (139KB) 
June 01-15, 2012  PDF (133KB)  PDF (133KB) 
May 16-31, 2012  PDF (133KB)  PDF (133KB) 
May 01-15, 2012  PDF (133KB)  PDF (133KB) 
April 16-30, 2012  PDF (194KB)  PDF (133KB) 
April 01-15, 2012  PDF (133KB)  PDF (133KB) 
March 16-31, 2012  PDF (324KB)  PDF (133KB) 
March 01-15, 2012  PDF (133KB)  PDF (133KB) 
February 16-29, 2012  PDF (133KB)  PDF (133KB)  
February 01-15, 2012  PDF (133KB)  PDF (133KB) 
January 16-31, 2012  PDF (133KB)  PDF (133KB) 
January 01-15, 2012  PDF (133KB)  PDF (133KB) 
December 16-31, 2011  PDF (133KB)  PDF (133KB) 
December 01-15, 2011 PDF (133KB)  PDF (133KB)
November 16-30, 2011  PDF (193KB)  PDF (133KB) 
November 01-15, 2011  PDF (133KB)  PDF (133KB) 
October 16-31, 2011  PDF (198KB)  PDF (133KB) 
October 01-15, 2011  PDF (133KB)  PDF (133KB) 
September 16-30, 2011  PDF (133KB)  PDF (133KB) 
September 01-15, 2011  PDF (133KB)  PDF (133KB) 
August 16-31, 2011  PDF (133KB)  PDF (133KB) 
August 01-15, 2011  PDF (133KB)  PDF (133KB) 
July 16-31, 2011  PDF (198KB)  PDF (133KB) 
July 01-15, 2011 PDF (133KB)  PDF (133KB)
June 16-30, 2011  PDF (133KB)  PDF (133KB) 
June 01-15, 2011  PDF (133KB)  PDF (133KB)
May 16-31, 2011  PDF (133KB)  PDF  (133KB)
May 01-15, 2011  PDF (133KB)  PDF (133KB) 
April 16-30, 2011  PDF (133KB)  PDF (133KB) 
April 01-15, 2011  PDF (133KB)  PDF (133KB) 
March 16-31, 2011  PDF (133KB) PDF (133KB) 
March 01-15, 2011 PDF (133KB) PDF (133KB)
February 16-28, 2011 PDF (133KB) PDF (133KB)
February 01-15, 2011 PDF (133KB) PDF (128KB)
January 16-31, 2011 PDF (193KB) PDF (195KB)
January 01-15, 2011 PDF (133KB)  PDF (133KB)
December 16-31, 2010 PDF (128KB) PDF (128KB)
December 01-15, 2010   PDF (128KB) PDF (128KB)
November 16-30, 2010 PDF (128KB) PDF (128KB)
November 01-15, 2010 PDF (128KB) PDF (128KB)
October 16-31, 2010 PDF (128KB) PDF (128KB)
October 01-15, 2010 PDF (128KB) PDF (128KB)
September 16-30, 2010 PDF (248KB) PDF (128KB)
September 01-15, 2010 PDF (128KB) PDF (128KB)
August 16-31, 2010 PDF (128KB) PDF (128KB)
August 01-15, 2010 PDF (128KB) PDF (128KB)
July 16-30, 2010 PDF (127KB) PDF (127KB)
July 01-15, 2010 PDF (129KB) PDF (129KB)
June 16-30, 2010 PDF (128KB) PDF (128KB)
June 01-15, 2010 PDF (128KB) PDF (128KB)
May 16-31, 2010 PDF (129KB) PDF (129KB)
May 01-15, 2010 PDF (129KB) PDF (129KB)
April 16-30, 2010 PDF (128KB) PDF (128KB)
April 01-15, 2010 PDF (129KB) PDF (129KB)
March 16-31, 2010 PDF (129KB) PDF (129KB)
March 01-15, 2010 PDF (129KB) PDF (129KB)
February 16-28, 2010 PDF (129KB) PDF (129KB)
February 01-15, 2010 PDF (129KB) PDF (129KB)
January 16-31, 2010 PDF (129KB) PDF (129KB)
January 01-15, 2010 PDF (129KB) PDF (129KB)
December 16-31, 2009 PDF (128KB) PDF (128KB)
December 01-15, 2009 PDF (129KB) PDF (129KB)
November 16-30, 2009 PDF (128KB) PDF (128KB)
November 01-15, 2009 PDF (128KB) PDF (128KB)
October 16-31, 2009 PDF (129KB) PDF (129KB)
October 01-15, 2009 PDF (129KB) PDF (129KB)
September 16-30, 2009 PDF (128KB) PDF (128KB)
September 01-15, 2009 PDF (128KB) PDF (128KB)
August 16-31, 2009 PDF (128KB) PDF (128KB)
August 01-15, 2009 PDF (128KB) PDF (128KB)
July 16-31, 2009 PDF (129KB) PDF (129KB)
July 01-15, 2009 PDF (129KB) PDF (129KB)
June 16-30, 2009 PDF (128KB) PDF (128KB)
June 01-15, 2009 PDF (195KB) PDF (128KB)
May 16-31, 2009 PDF (195KB) PDF (129KB)
May 01-15, 2009 PDF (129KB) PDF (129KB)
April 16-30, 2009 PDF (192KB) PDF (192KB)
April 01-15, 2009 PDF (127KB) PDF (127KB)
March 16-31, 2009 PDF (127KB) PDF (127KB)
March 01-15, 2009 PDF (127KB) PDF (127KB)
February 16-28, 2009 PDF (127KB) PDF (128KB)
February 01-15, 2009 PDF (127KB) PDF (127KB)
January 16-31, 2009 PDF (127KB) PDF (127KB)
January 01-15, 2009 PDF (127KB) PDF (127KB)
December 16-31, 2008 PDF (126KB) PDF (126KB)
December 01-15, 2008 PDF (191KB) PDF (191KB)
November 16-30, 2008 PDF (127KB) PDF (127KB)
November 01-15, 2008 PDF (127KB) PDF (128KB)
October 16-31, 2008 PDF (127KB) PDF (128KB)
October 01-15, 2008 PDF (127KB) PDF (128KB)
September 16-30, 2008 PDF (127KB) PDF (127KB)
September 01-15, 2008 PDF (127KB) PDF (127KB)
August 16-31, 2008 PDF (127KB) PDF (128KB)
August 01-15, 2008 PDF (127KB) PDF (128KB)
July 16-31, 2008 PDF (127KB) PDF (128KB)
July 01-15, 2008 PDF (127KB) PDF (128KB)
June 16-30, 2008 PDF (127KB) PDF (127KB)
June 01-15, 2008 PDF (127KB) PDF (128KB)
May 16-31, 2008 PDF (127KB) PDF (128KB)
May 01-15, 2008 PDF (127KB) PDF (128KB)
April 16-30, 2008 PDF (127KB) PDF (128KB)
April 01-15, 2008 PDF (127KB) PDF (128KB)
March 16-31, 2008 PDF (127KB) PDF (128KB)
March 01-15, 2008 PDF (127KB) PDF (128KB)
February 16-29, 2008 PDF (127KB) PDF (128KB)
February 01-15, 2008 PDF (127KB) PDF (127KB)
January 16-31, 2008 PDF (127KB) PDF (127KB)
January 01-15, 2008 PDF (127KB) PDF (127KB)
December 16-31, 2007 PDF (127KB) PDF (127KB)
December 01-15, 2007 PDF (127KB) PDF (127KB)
November 16-30, 2007 PDF (127KB) PDF (127KB)

November 01-15, 2007

PDF (127KB) PDF (127KB)
October 16-31, 2007 PDF (1.0MB) PDF (148KB)
October 01-15, 2007 PDF (152KB) PDF (152KB)
September 16-30, 2007 PDF (322KB) PDF (152KB)
September 01-15, 2007 PDF (152KB) PDF (152KB)
August 16-31, 2007 PDF (152KB) PDF (152KB)
August 01-15, 2007 PDF (152KB) PDF (152KB)
July 2007 PDF (30KB) PDF (30KB)
June 2007 PDF (30KB) PDF (30KB)
May 2007 PDF (30KB) PDF (30KB)
April 2007 PDF (30KB) PDF (30KB)
March 2007 PDF (30KB) PDF (30KB)
February 2007 PDF (30KB) PDF (30KB)
January 2007 PDF (30KB) PDF (30KB)
December 2006 PDF (30KB) PDF (30KB)
November 2006 PDF (30KB) PDF (30KB)
October 2006 PDF (30KB) PDF (30KB)
September 2006 PDF (30KB) PDF (30KB)
August 2006 PDF (30KB) PDF (30KB)
July 2006 PDF (30KB) PDF (30KB)
June 2006 PDF (30KB) PDF (30KB)
May 2006 PDF (30KB) PDF (30KB)
April 2006 PDF (30KB) PDF (30KB)
March 2006 PDF (100KB) PDF (100KB)
February 2006 PDF (30KB) PDF (30KB)
January 2006 PDF (51KB) PDF (51KB)
December 2005 PDF (51KB) PDF (51KB)
November 2005 PDF (101KB) PDF (49KB)
October 2005 PDF (377KB) PDF (328KB)
September 2005 PDF (425KB) PDF (399KB)
August 2005 PDF (488KB) PDF (488KB)
July 2005 PDF (377KB) PDF (302KB)
June 2005 PDF (488KB) PDF (439KB)
May 2005 PDF (601KB) PDF (575KB)
April 2005 PDF (323KB) PDF (323KB)
March 2005 PDF (255 KB) PDF (255KB)
February 2005 PDF (236KB) PDF (210KB)